Cisi regulations final - Study guides, Class notes & Summaries

CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] How many times do FPC meet annually? - CORRECT ANSWER 4 Until what date can EEA firms still passport to UK? - CORRECT ANSWER 31 March 22 How long can the regulator take to reach a decision over Part4A permission? - CORRECT ANSWER 6 months How many years of employment history is required under SMCR Fit and Proper Test? - CORRECT ANSWER 6 years Within how many months must those conducting activities for R...

CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] Criminal offence: General defences insider dealing - CORRECT ANSWER No advantage was expected. A belief that the information had been widely disclosed Would have dealt anyway Did not expect the recipient to deal Special defences : insider dealing - CORRECT ANSWER Stabilisation Market information Market makers in the ordinary course of business If a UK company offers an inducement to a foreign agent ...

CISI Financial Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] A firm engaging in a transaction triggered the COBS requirement to display proof of appropriateness for the transaction because the client: - CORRECT ANSWER Engaged in execution only trades Appropriateness is for non-advised trades and protects both professional and retail clients. The most likely factor to trigger the requirement to assess appropriateness is the execution only service, speci...

CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] When the UK regulator allows a firm to undertake regulated activities, it grants which of the following? A Authorisation B Financial Services and Markets Act 2000 prohibition C Regulatory exemption D Part 4A Permission - CORRECT ANSWER D Part 4A Permission - Activities must be permitted by the Part 4A Permission (status would be permitted with authorization) According to the UK Prospectus Rules (P...

CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] When the UK regulator allows a firm to undertake regulated activities, it grants which of the following? A Authorisation B Financial Services and Markets Act 2000 prohibition C Regulatory exemption D Part 4A Permission - CORRECT ANSWER D Part 4A Permission - Activities must be permitted by the Part 4A Permission (status would be permitted with authorization) According to the UK Prospectus Rules (P...

CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] When the UK regulator allows a firm to undertake regulated activities, it grants which of the following? A Authorisation B Financial Services and Markets Act 2000 prohibition C Regulatory exemption D Part 4A Permission - CORRECT ANSWER D Part 4A Permission - Activities must be permitted by the Part 4A Permission (status would be permitted with authorization) According to the UK Prospectus Rules (P...

CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] When the UK regulator allows a firm to undertake regulated activities, it grants which of the following? A Authorisation B Financial Services and Markets Act 2000 prohibition C Regulatory exemption D Part 4A Permission - CORRECT ANSWER D Part 4A Permission - Activities must be permitted by the Part 4A Permission (status would be permitted with authorization) According to the UK Prospectus Rules (P...

CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] Where does the FCA get the power to perform their regulatory role? - CORRECT ANSWER FSMA 2000 Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised under the Financial Services and Markets Act 2000 Who develops and executes the governments public finance and economic policy? - CORRECT ANSWER Her majesty'...

CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] Where does the FCA get the power to perform their regulatory role? - CORRECT ANSWER FSMA 2000 Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised under the Financial Services and Markets Act 2000 Who develops and executes the governments public finance and economic policy? - CORRECT ANSWER Her majesty'...

CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024] When the UK regulator allows a firm to undertake regulated activities, it grants which of the following? A Authorisation B Financial Services and Markets Act 2000 prohibition C Regulatory exemption D Part 4A Permission - CORRECT ANSWER D Part 4A Permission - Activities must be permitted by the Part 4A Permission (status would be permitted with authorization) According to the UK Prospectus Rules (P...